DFX Intelligence

L••••••• E• S•••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

L••••••• E• S•••••••••

Advisor at A••••••••• F•••••••• S•••••••• L••

••• Locked

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:6fc1260f-fb6b-c19f-8626-52b48ebf448d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 20, 2009 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: A••••••••• F•••••••• S•••••••• L••
Current firm class: national broker-dealer RIAderived
Book size: not public••• Locked
Industry start: May 5, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 3

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
A••••••••• F•••••••• S•••••••• L••	National bd RIA	Jan 12, 2021	n/a	yes	Hauppauge, NY\|New Port Richey, FL\|West Islip, NY	Current employment
H••• S••••••••• •••• I•••	Bd affiliated wealth	Jun 19, 2012	Jan 25, 2021	no	SYOSSET, NY\|HUNTINGTON, NY\|SYOSSET, NY\|LEVITTOWN, NY\|ROCKVILLE CENTRE, NY\|MERRICK, NY\|OYSTER BAY, NY\|JERICHO, NY\|SYOSSET, NY\|CARLE PLACE, NY\|LEVITTOWN, NY\|CEDARHURST, NY\|MERRICK, NY\|SYOSSET, NY\|HUNTINGTON, NY\|BAY SHORE, NY

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
H••• S••••••••• •••• I•••	A••••••••• F•••••••• S•••••••• L••	Jan 25, 2021	Jan 12, 2021	-13	Firm change	Ibd to ibd
F••• A•••••••	H••• S••••••••• •••• I•••	Jun 11, 2012	Jun 19, 2012

Team moves

••• Locked

Team	Left	Joined	From	Kind
19585:6363:NY:2021-01-25	Jan 25, 2021	Jan 12, 2021	BAY SHORE, NY	Firm change

Relationships

Registered with (4)

→ A••••••••• F•••••••• S•••••••• L••Registered adviserregistration: current employment
Jan 12, 2021 to presentfactForm ADV
→ H••• S••••••••• •••• I•••Registered adviserregistration: previous registration
Jun 19, 2012 to Jan 25, 2021factForm ADV
→ F••• A•••••••Registered adviserregistration: previous registration
Jun 25, 2010 to Jun 11, 2012factForm ADV
→ C•••• I••••••••• S••••••• C••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6fc1260f-fb6b-c19f-8626-52b48ebf448d
First observed: Apr 20, 2009
Last observed: Sep 14, 2026 9 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.